NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Marvin Maltz, Claimant vs. t Case #88-02837 Award Barry Leibowitz and Greentree Securities, Inc., ) Respondents ) CASE SUMMARY Claimant alleges that when he bought 250,000 units of Great Colorado Silver Development Co. at $0.02, the bid was SO.02 and the ask was $0.04. Claimant further alleges that Barry Leibowitz, the registered represe

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between STANLEY D. WILLIAMS AND JANAE L. SCHAEFFER Claimants and CASE NO. 88-02834 LAIDLAW, ADAMS & PECK, INC.; ) KUHNS BROTHERS & LAIDLAW, INC.; ) INTEGRATED RESOURCES EQUITY CORPORATION; ) PERSHING DIVISION OF DONALDSON, LUFKIN, ) JENRETTE SECURITIES AND MATTHEW KELLY ) Respondents ) CASE SUMMARY In a claim filed with the NASD on September 6, 1988

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02386 PaineWebber Incorporated, claimant vs. Elbert Watts, respondent. ATTORNEYS: For Claimant, PaineWebber Incorporated ("Claimant"), Romaine L. Gardner, Esq., Counsel to PaineWebber Incorporated, Staten Island, NY. Respondent, Elbert Watts ("Respondent"), appeared Po Se. Atlanta, GA. DATE FILED: May 24, 1999 CASE SUMMARY: Claimant alleged that Respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the A-bitration Between ) ) DONALD R. ELLER ) ) Claimant ) and ) > CASE NO. 88-02832 SHEARSON LEHMAN HUTTO^, INC. ) ANTHONY SAWIN AND TW MOLL ) ) Respondents ) CASE SUMMARY Claimant allege? that he placed a sell order for 2200 warrants of Intel Stock at the market. Allegedly, Respondent failed to execute the order causing a loss to the Claimant. Respondents

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) ) CONSTANTINE C. KANAVOS ) Claimant ) v. ) AWARD SWISS AMERICAN SECURITIES, INC. ) NASD No. 88-02830 Respondent CASE SIMtARY Constantine C. Kanavos ("Claimant") alleges that Swiss American Securities, Inc. ("Respondent") should be responsible for payment of proceeds of a class action settlement due him from the Minnetonka Lab, Inc. Security Litigation

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration) Between ) Raymond D. and Christine M. ) Madia, ) ) Case #88-02829 Claimants ) ) Award vs. ) Shearson Lehman Button, Inc. ) Respondent ) CASE SUMMARY Claimants allege that they informed their broker, Robert Fragasso, about their investment objectives to the effect that although they were willing to accept some risk with respect to the amount

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Clairmont J. Barnes, Jr. Claimant(s) vs. Diversified Equities Corp. Respondent(s) NOTICE OF ARBITRATION AWARD 88-02828 CASE SUMMARY Claimant(s) Clairmont J. Barnes, Jr. alleged that Respondent(s) Diversified Equities Corp. made unauthorized transactions and wrongfully liquidated his account. Respondent(s) did not respond. RELIEF REQUESTED Clai

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) LUTHER LITTLE, JR. and KATHLEEN LITTLE ) ) Claimant(s) ) Case No. 88-02821 and ) ) ERNEST G. MARTIN, III and A.G. EDWARDS ) AND SONS, INC. ) Respondent(s) ) CASE SUMMARY In a claim filed with the NASD on or about September 6, 1988, claimants Luther and Kathleen Little ("the Littles") alleged that the Respondents Ernest G. Martin, III

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) John J. Blair Claimant ) vs. ) CASE NO. 88-02819 Merrill Lynch, Pierce, Respondents ) Fenner and Smith, Inc. ) Gregg A. Phillips ) Heard before: James A. Knowles John 8. Reilley Thomas W. Borden SUWARY OF ISSUES This claim was filed September 6, 1988. Cliamant alleged that Respondents churned his account, bought unsuitable securities, breached

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Timothy A. and Beverly Keller Claimant(s) vs. 88-02817 Diversified Equities Corp. and Profile Investments Corp. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Timothy A. and Beverly Keller alleged that Respondent(s) Diversified Equities Corp. and Profile Investments Corp. committed unauthorized trading in Claimants' account hel